Looking

Dear ARMA Chicago Members,

The weather is getting warmer outside, which means the end of the ARMA Chicago program

year is upon us. We have had some wonderful educational opportunities over the past several months, which most recently

included our annual Spring Seminar. This year’s Seminar featured great speakers and exciting networking opportunities for

those who attended, and we thank all of those who took time out of their busy schedules to join us. In the coming months, we

have two additional meetings for our members, including a session on eDiscovery on May 9th following the MER Conference.

For those attending MER, we invite you to join us after the conference for this exciting lunch and learn, and for those who just

wish to attend our meeting, feel free to join as well. Finally, you can look forward to our annual awards banquet in June. This

year we hope to add a fun twist to this event to celebrate the success of another program year and thank all of you for your

support of the chapter. As a final plug, I would also like to invite anyone who is interested in becoming a part of the ARMA

Chicago board to speak with me or one of our other board members. We always love input from our members, and would be

happy to have any new voices as a part of the board.

As always, thank you for your continued support of ARMA Chicago, and we look forward to seeing all of you very soon

Nate Pauley

President, ARMA Chicago

Inside this issue:

Spring Seminar 2

RIM Month 4-5

Charity Wish List 7

Implementing a Policy for

Electric Content and

Systems Management

8-11

Co-Editors:

Jean Ciura, Ph.D, CRM,

L.C. Wagner

Forward

2 In the Loop - Volume 3 - Issue 2

Spring Seminar...

If you missed the

This year’s Spring Seminar theme was Educate, Elevate and Lead! It was

held on Wednesday, April 18th, with over 102 in total attendance. The event

was co-sponsored by Microsoft at their Tech Center in the Aon Center. The

annual Spring Seminar provides education and networking opportunities for

new and established professionals in the field of Records and Information

Management. This year, there were 19 speakers that delivered three main

tracks: 1) Technical, 2) IGP/GDPR or 3) CRM Workshop.

The morning kicked-off with Melvin Petties, from Blockhive, as a keynote speaker, educating us about Blockchain

technology. After which, there were two sessions on each track. After lunch, Iron Mountain provided a demonstration on

their new records retention tools, and many of the attendees enjoyed networking and playing with the technology tools

located in the facility. Angela Kazazian, of Entelechy, Inc., kicked-off the afternoon keynote session with an engaging

presentation titled “Unleash Your Leadership.” We learned about leadership styles, listening and motivating teams. Angela’s

wit and business savvy left many laughing and relating to the situations that were shared.

We are very pleased that ARMA Chicago sponsored one attendee via the board scholarship program that began last year.

Congratulations to Fred Tumas!

A first for this year was the use of EventsXD as our mobile app for the program event guide which included the complete

agenda, speaker bios, all sponsors information and floor plans of the facility.

Lastly, we would like to thank all 14 of our sponsors: Bluelock, Bradford Systems, Chicago Records Management, GRM,

HBR Consulting, iManage, InOutsource Consulting Iron Mountain, IST Management Services, Microsoft, Polygon, R4

Services, REB Storage Systems, and Tab!

Diamond Sponsors: Angela Kazazian,

Entelechy, Inc.

Keynote Speakers

Melvin Petties,

Blockhive

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In Honor of RIM Month…

For those who are new, chapter events are a fantastic way

to develop professional competence and helpful networks.

Many members have reached out to others who have ques-

tions, need advice, or just want to learn more about a

product, project or service. Our Chapter, this newsletter,

and the events sponsored provide all of these opportunities.

This issue of “In the Loop” is dedicated to the professional

events, news and opportunities that make our work meaning-

ful to our businesses, companies, and community. We hope

that the newsletter provides another way for you to stay in

touch with every aspect of information management and

governance. It is an important vehicle for Board Members to

share news that is important to the Chapter and provide

information on opportunities for you to participate as well.

This issue includes links to posters, a video, and resources on the RIM profession. If you click on each image, you will be

directed according to the posters and video. We encourage you to use these in meetings you may have at work, with your

supervisors, and clients to help others understand how critically important this profession is. We also would very much like to

have you participate in chapter events and in contributing articles, news, or case studies in our newsletter. Everything

contributes to the RIM community and helps us deliver greater professional opportunities to our members.

5 In the Loop - Volume 3 - Issue 2

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Most Needed Items

Vacuum Cleaners

Irons

Hair Dryers

Wish List Items for the House

Food and Beverage Items Individually wrapped snacks

Individual mini boxes of cereal

K-Cups

Folgers Coffee Classic Roast –32/48 oz

Kitchen and House Supplies Paper napkins

Styrofoam to-go containers for meals

Paper plates and plastic silverware

Aluminum foil and full size aluminum chafing dish pans

To-Go Coffee Cups with Lids

Large Tupperware Containers

Gallon Size Ziplock Bags

Serving bowls and platters

Personal Care Items Individual bottles of hand soap

Facial Tissue, Kleenex

Individualized Toiletries for Family Guest

Rooms: Shampoo/Conditioner, Body Wash,

Bar Soap

Cleaning Supplies

Laundry Detergent and Dryer Sheets

Latex & Non-Latex Gloves

Drawstring Garbage Bags: 55/33/13/8

gallon

Disinfectant cleaning wipes

All purpose cleaning spray and glass cleaner

Liquid Dish Soap and Sponges

Office Supplies

Postage stamps

Mailing Labels: White 1” x 2 5/8” Avery

#5960 & #5160

White and Colored Copy Paper: 8.5 x 11

Scotch Tape

Ink Cartridges (HP CP3525x (reorder # 250A, 251A, 252A, 253A) & HP LaserJet Enterprise MFP M725 14A)

Gift Cards Gift cards to Target, Home Depot, Jewel,

Sam’s Club/Walmart, Bed Bath and

Beyond, CVS & Walgreens

7 In the Loop - Volume 3 - Issue 2

Implementing a Policy for Electronic Content

8 In the Loop - Volume 3 - Issue 2

This article is excerpted from the new technical report Imple-menting Electronic Messaging Policies (ARMA International 31-2018), which is available at www.arma.org/store/ViewProduct.aspx?ID=11017155.

Managing electronic messages identified as records in-cludes assigning responsibility for managing message con-tent and systems. To this end, the organization may limit the locations in which electronic messages can be maintained, particularly those locations outside the organization’s direct control, such as an employee’s home computer or mobile device, portable storage media, or third-party servers. The electronic messaging policy addresses the following:

Appropriateness of content

Attachments

Drafts

Duplicates

Threads

Metadata

Monitoring

Appropriateness of Content

The electronic messaging policy encompasses guidance related to the types of messages and appropriate content allowed by the organization. The policy specifically address-es those items by:

Emphasizing that electronic communications are to be accurate, with users exercising the same care in writing them as they would for any other written communication to a formal audience

Identifying messages, files, and information not to be sent by unencrypted electronic communications, such as:

Attorney-client privileged information

Confidential and personal information, such as salary or medical records

Copyrighted, proprietary, secret, or other organi-zation-confidential information

Providing users with a standardized header/footer state-ment to declare intent and protect the user and the re-cipient from liability when technological or human error allows the message transmission to unintended parties

Providing users with a style guide that presents specific examples of recommended electronic message style

and usage

Specifying whether personal, non-business use of the messaging system is prohibited; if permitted, within what circumstances and limits

Stating whether the organization has the right, at its dis-cretion, to monitor electronic message system content; if applicable, identifying the conditions under which moni-toring can occur

Warning that content that is misleading, inaccurate, fraudulent, harassing, embarrassing, sexually explicit, profane, obscene, intimidating, defamatory, or in viola-tion of laws or regulations is prohibited

Attachments

Attachments or linked items – such as audio, photo, text, or video files, embedded objects, images, or hyperlinks – can be associated with any electronic message identified as a record. To open an attachment or linked item, the end user may need a specific application, separate from the electronic messaging application.

Generally, policies and procedures for appraising and scheduling attachments or linked items are identical to those of their non-electronic counterparts. The electronic messag-ing policy should be clear about the mode of retention of attachments or linked items to ensure consistency and avoid duplication; this can be especially important when multiple or separate recordkeeping systems are used for storing elec-tronic messages or linked attachments. Also, the policy will stipulate that as with other electronic records, naming con-ventions and version control procedures are instituted to ensure easy identification of current versions.

Drafts

Usually, electronic message drafts are not retained. The electronic messaging policy specifies circumstances under which drafts are retained. Each organization’s policy, in ac-cord with other records-related policies, specifies circum-stances under which drafts are records and, as such, are subject to management during the information life cycle.

Duplicates

Organizations commonly use electronic messaging systems to disseminate information to multiple recipients. Depending on the types of electronic messaging systems in use, this practice could result in the creation of multiple copies of the same message. Each organization’s electronic messaging policy, in accordance with other records-related policies, specifies which copy is to be considered the record and, as such, is subject to management during the information life cycle.

and Systems Management

Implementing a Policy for Electronic Content

Threads

A thread, also called a string, is an electronic messaging conversation comprising multiple messages. The conversa-tion can be broken or continuous over time. The electronic messaging policy specifies how the content of threads is identified, how threads with diverse or changing content are classified, and how threads are filed.

Metadata

Metadata, which is structured information that describes both paper and electronic information, is particularly im-portant when associated with electronic messages identified as records; it provides the information by which those rec-ords are located and managed. In addition, metadata:

Serves as the mechanism for documenting the life cycle of information, including creation, usage, and disposition

Identifies relationships between information items and preserves the context of a particular piece of information

Documents how that object behaves (i.e., its function, use, and relationships to other information objects)

Metadata is used to ensure the authenticity, reliability, integ-rity, and usability of the record.

Because authenticity, reliability, and integrity describe trust-worthy documents from the legal perspective, metadata can be used to identify a record as a legal-ly acceptable document when present-ed as evidence in a legal proceeding. In addition, metadata maintains the context of a record and supports searching, retrieval, and display.

The management of metadata should be handled by IM professionals and linked with the records retention policy. This includes:

Establishing security and privacy policies that define which metada-ta should be retained and for how long

Mandating which metadata is ed-itable and which is not

Specifying which metadata be-comes part of an audit trail

Stating which metadata can be accessed by which entity

For preservation purposes, metadata is essential to retaining records in a

useful state over time. These metadata elements are used to define object characteristics, such as size, format, creat-ing application, signature information, and fixity. Metadata can be stored with the record (e.g., e-mail messages with descriptive headers) or stored separately (e.g., in an exter-nal catalog).

An advantage of storing metadata with the record is that when the record is copied or moved, the metadata moves with it. When the record is deleted, the metadata is deleted, as well. A disadvantage of having only embedded metadata is that all records need to be examined to satisfy a query.

The advantage of storing metadata separately is that it can make searching more efficient, since fewer servers need to be accessed to locate the record. However, with this meth-od, automatic linkages can be lost, and additional steps are needed to ensure that a record is not copied, moved, or de-leted without modifying the associated metadata.

Electronic messages may provide embedded information (metadata) generally not found in other electronic records that may be useful to information professionals, including a description of the originating system, the method of transport, and the intermediate agents.

Metadata for records in the form of electronic messages fits into three broad categories: content metadata, records man-agement metadata, and records utilization metadata. These categories, included in Table 1, describe metadata captured

and Systems Management

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Implementing a Policy for Electronic Content

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or added as a result of life cycle activities. Table 1, while not all-inclusive, offers a preliminary list of metadata elements relative to electronic messaging.

Monitoring

The organization oversees the use of its systems to ensure compliance with policies and to determine that systems are not be-ing used for illegal or other improper purposes. The electronic messaging policy addresses the monitoring of electronic messag-es and systems as organizational resources. The policy states:

The circumstances under which the monitoring occurs

The penalties resulting from improper use discovered by such monitoring

The scope or extent of the monitoring

For more on this topic as it relates to monitoring for internal audit or legal compliance, see section 5.4 [of the technical report from which this article was excerpted].

and Systems Management

Element Data Required

CONTENT METADATA – ORIGINATION AND CAPTURE

ID Unique identifier produced by mail systems

Subject Contents of subject line (e-mail)

Conversation status and reason (instant messaging)

Date and Time Sent/

Conversation Start Date/timestamp including time zone

Date and Time Received/

Conversation End Date/timestamp including time zone

Sender/Originator For e-mail only: E-mail sender information should be stored in an industry standard format

such as X.500.

Prior Originator(s) For e-mail only: A couplet with the Simple Name and e-mail address for each

account that forwarded the message before it arrived with the sender.

Note: Multiple values possible. Only appropriate when a message is forwarded.

Addressee(s)/Participants Addressee information should be stored in an industry standard format such as

X.500, as well as other forms that enhance record retrieval.

Distribution lists should be expanded as soon as practical whenever possible.

The individual e-mail addresses of each addressee should be stored as part of the record.

For an instant message session, the record should include the alias used in the session

and the e-mail address associated with that name.

Location Identifier to permit location of message body

Attachments Identifier(s) to permit locating any electronic mail attachments

Note: Multiple values supported. Identifier type needs to be addressed.

Message Format The message format may include both structural information as well as the method of

encoding. The structure may be imposed by the mail product used or an industry stand-

ard. Encodings are standard message system-independent schemes such as plain text,

rich text format, HTML, or XML.

Message Type The message type may include specific types of messages (e.g., e-mail, instant message,

SMS, etc.).

Message Size Size of message calculated in bytes

Language Language of the message

Note: Optional because the language may not be available or the message may not be in a

single language.

Electronic Signature Metadata used for authentication of both the sender and the message

integrity Note: Signing scheme must be identified.

Encryption Encryption method (if employed)

User-Defined Metadata Varies by field; user-definable

RECORDS MANAGEMENT METADATA – CLASSIFICATION, MAINTENANCE, AND PRESERNATION

Records Category Records series in which the record or group of records exists

Classification Date and Time Date/timestamp of when the message was classified as a record

Disposition Event Trigger Date or event required but not both

Disposition Certificate ID, time, and authorization of destruction

Migration Date Date required for transference to new media for integral preservation

Migration History Trail of migration events showing integrity of preservation

Retention Schedule Pointer to schedule

Access Domain(s) Credential(s) required to access record

Note: Credential(s) may be required at the field level, not the record level, to comply with the

European Union Data Protection Directive, Health Insurance Portability and Accountability

Act, or other regulations.

RECORDS UTILIZATION METADATA – ACCESS, REVIEW, USE, AND DISPOSITION

Access ID of accessing entity, including systems

Access Event(s) Designators for viewing, retrieval, forwarding, records management changes (disposition

edits), annotation edits, etc.

Access Event Time Stamp Date/timestamp of access event

Access Restrictions Time limitations of restrictions to ensure regular review

Access Event Detail Further data relating to access event

Annotation Content Comments about record and access events

Note: Can be used for dates, numbers, matter ID, etc.

Hold Command to preserve documents related to ongoing or reasonably anticipated litigation,

governmental investigations, or audits

Note: Value = Yes or No

Implementing a Policy for Electronic Content

and Systems Management

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